Compliance Monitoring Officer

7 days ago

Manchester, United Kingdom AJ Bell Full time

Job Description:

A new opportunity has become available within the compliance team at our Manchester office for a Compliance Monitoring Officer.

This is a fantastic opportunity to join one of the UK's fastest growing investment platform businesses where you can expand on your existing skills and continue to build a successful career.


Supporting the Risk and Compliance function, this role is to ensure we are complying to all the relevant rules and regulations as well maintaining essential records and documents as required by the FCA.


What does the job involve?

  • In depth compliance monitoring and regular reviews, reporting results to the Head of Compliance Monitoring as appropriate.
  • Writing reports on findings
  • Supporting the Head of Compliance Monitoring with the maintenance and delivery of the Compliance Monitoring Plan whilst contributing significantly with the criteria used to form the plan.
  • Maintaining essential records and documents, as required by the FCA rules.
  • Ensuring that all relevant management information is provided in a timely manner.
  • Monitoring of staff accounts in conjunction with the AJ Bell Personal Account Dealing policy.
  • Maintaining the breach and gifts and hospitality registers.

Skills and Experience:

  • Compliance or quality assurance monitoring and testing experience
  • Good written and verbal communication skills
  • Meticulous attention to detail
  • Excellent analytical skills
  • Good planning, organisation, and time management skills
  • IT skills; able to use MS Office including Word and Excel


Applicants with previous experience in a compliance function within a FCA regulated business, either in a Stockbroker, Investment Platform or Investment business will be of particular interest, but experience in other sectors will be considered.


Knowledge:

  • Working knowledge and awareness of:
  • The UK regulatory regime with particular awareness the current FCA Handbook.
  • Compliance monitoring and/or testing methodologies.
  • Understanding the delivery of a good customer outcome framework.

About us:


AJ Bell is one of the fastest-growing investment platform businesses in the UK offering an award-winning range of solutions that caters for everyone, from professional financial advisers, to DIY investors with little to no experience.

We have over 455,000 customers using our award-winning platform propositions to manage assets totaling more than £68.6 billion.

Our customers trust us with their investments, and by continuously striving to make investing easier, we aim to help even more people take control of their financial futures.


Having listed on the Main Market of the London Stock Exchange in December 2018, AJ Bell is now a FTSE 250 company.


Headquartered in Manchester with offices in central London and Bristol, we now have over 1200 employees and have been named one of the Sunday Times '100 Best Companies to Work For' for five consecutive years.


There are opportunities for growth and professional development for employees wanting to progress within their career including induction training and our study support scheme which is part of our benefits package.

There is an active programme of social events throughout the year, which are open to all employees.

In return we will provide all the training and support you need in order to develop within your role.

What we offer:

  • Competitive starting salary
  • Generous holiday allowance of 25 days, increasing up to 30 days with service, plus bank holidays
  • Holiday buy/sell scheme
  • Hybrid working policy
  • Casual dress code
  • Discretionary biannual bonus
  • Contributory pension scheme
  • Buy as you earn share scheme
  • Free shares scheme
  • Paid study support for qualifications
  • Enhanced maternity/paternity scheme from day one
  • Bike loan
  • Season ticket loan portal
  • Discounted PMI and Dental
  • Onsite gym and personal trainer led classes
  • Paid volunteering opportunities
  • Free social events and more


AJ Bell is committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants and all employees are empowered to bring their whole self to work.


We do not discriminate on the basis of race, sex, gender identity, sexual orientation, age, pregnancy, religion, physical and mental disability, marital status and any other characteristics protected by the Equality Act 2010.

All decisions to hire are based on qualifications, merit and business need.

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